Search Results | Showing 1 - 10 of 57 results for "market integrity rules" |
| | | ... Disciplinary Panel (MDP) for misreporting information on 3632 orders. The MDP found that Petra had breached the market integrity rules by failing to provide accurate information, leading to one client appearing as multiple clients on 3632 occasions. ... |
| | | | ... suspicious orders from being placed on the electricity and wheat futures market. ASIC said SocGen breached market integrity rules by allowing two of its clients to place 33 suspicious orders from May 2023 to February 2024. This marks ASIC's fifth ... |
| | | | ASIC is consulting on proposed changes to modernise market integrity rules (MIRs) governing participants' trading systems and automated trading. ASIC said the proposed changes aim to keep pace with continued developments in technology, including artificial ... |
| | | | ... transactions on electricity futures. ASIC's Markets Disciplinary Panel (MDP) found Macquarie breached market integrity rules on 50 occasions between January to September 2022, allowing three of its clients to place suspicious orders. In a follow-up ... |
| | | | ... order transactions on electricity futures. ASIC's Markets Disciplinary Panel (MDP) found Macquarie breached market integrity rules on 50 occasions between January to September 2022, allowing three of its clients to place suspicious orders. Macquarie ... |
| | | | ... reasonable grounds to believe that Ascot had breached s798H(1) of the Corporations Act by repeatedly violating market integrity rules. These breaches included entering a client's orders onto the ASX that it should've suspected were manipulative and failing ... |
| | | | ... Markets Disciplinary Panel (MDP) has fined a Nomura subsidiary almost $700,000 for failing to comply with market integrity rules. Instinet Australia, the local arm of the global, Nomura-owned stockbroker, was issued the infringement notice after it was ... |
| | | | ... million penalty, the largest sanction ever imposed by an ASIC Market Disciplinary Panel, after contravening market integrity rules. An ASIC investigation was triggered by a series of transgressions, most notably Openmarkets' failure to respond to ... |
| | | | ... notice given by the Markets Disciplinary Panel (MDP). According to the MDP, Morrison contravened the ASIC Market Integrity Rules on six occasions between October and November 2021. Specifically, On October 27, a client of Morrison inadvertently directed ... |
| | | | ... Market Disciplinary Panel handed Ord Minnett an $888,000 infringement notice over two contraventions of market integrity rules which occurred when conducting a buyback. According to ASIC, on 1 September 2021 the firm was instructed to commence a buyback ... |
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